UNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013 Roles.

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1 UNIVERSITY RESEARCH ADMINISTRATION Roles Business Internal Controller's Clinical Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office I. GENERAL RESEARCH ADMINISTRATION ACTIVITIES AND SUPPORT Strategic Direct and guide the Institution's research mission Nurture technology related relationships and partnerships with industry and government. Compliance - General Develop and implement a comprehensive research compliance program Disseminate compliance information and new regulations to the research community Serve as advisor to research administration units on key compliance topics Comply with Institution policies on misconduct in research Comply with federal, state and Institution policies and regulations governing sponsored programs Determine appropriate responses to incidents of noncompliance Act as liaison with federal regulatory agencies during external compliance reviews Serve as expert resources on knowledge of federal and other sponsor regulations Review current practices to identify research compliance risks Communicate and network with peer institutions Monitor federal compliance requirements to develop & implement compliance audit workplans Coordinate the A-133 audit Coordinate all financial audits Coordinate pre-award audits Cost Reimbursement 1410 Prepare and negotiate F&A cost rate proposal Prepare and negotiate fringe benefit rate 1410 Communicate F&A rate to Institution personnel 1410 Calculate Service Center recharge rates 1410 Approve Service Center recharge rates 1410 Review revenue & expenses of each service center for compliance with federal regulations 1410 Conduct audits of service centers for compliance with University Department/School Central

2 Roles Department/School Business Internal Controller's Clinical Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office Central 1410 Monitor Service Center billing activities

3 UNIVERSITY RESEARCH ADMINISTRATION Roles Department/School Business Internal Controller's Clinical Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office Central Pre-Proposal Support Identify funding opportunities Maintain database of proposal submissions Provide reports to administrators for tracking funding trends Assist with implementation of sponsor electronic grant processing systems II. PROPOSAL DEVELOPMENT AND BUDGETING General 1405 Identify those types of expenses needed to conduct the project as proposed and awarded 1310 Ensure that all proposal submissions to GCA indicate eligible individuals as PI, co-pi or program director and have received the appropriate prior approvals 1310 Verify that all proposal submissions contain an eligible individual as PI, co-pi or program director and ensure that the eligible individual(s) have requisite training, resources, and effort to devote to the sponsored project Verify that there is some level of effort included in proposal per regulations Identify and communicate required training courses for PI 1310 Approve any exceptions to PI eligibility requirements 1403 Provide guidance to PIs and business managers in drafting sponsored project proposals that include administrative or clerical salaries or other departmental expenses required to support the proposed project Provide proposal forms and application materials Ensure that the proposal gets to Preaward by internal deadline Review and agree to proposal or application terms and conditions, as well as agency rules and regulations Confirm that the entire proposal meets administrative requirements outlined in the application instructions Technical Proposal Prepare technical proposal Identify the need for subcontracts Identify and request on- or off-campus space needed in addition to that already assigned to the PI Request modifications or renovations to on-campus space if necessary

4 UNIVERSITY RESEARCH ADMINISTRATION Roles Department/School Business Internal Controller's Clinical Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office Request modifications or renovations to off-campus space if necessary Complete the appropriate forms from the IRB, IACUC, Chemical and Biological Safety Committee, or Radiation Safety Committee, etc. Identify conflicts of interest and commitment and prepare COI disclosures Present proposal for review/approval by appropriate external peer review group Conduct department or administrative unit review of proposal relative to scientific merit, resource utilization or other department-specific concerns Proposal Budget Prepare proposal budget and budget justification commensurate with sponsor and Institution policies 1403 Provide guidance and assistance as needed to PIs and others for proposal and budget preparation 1311 Ensure that salary letters are provided on an annual basis to faculty indicating the approved institutional base salary 1311 Retain copies of appointment and salary letters for audit purposes 1311 Ensure all requests for salary support in sponsored project proposals are based on the individual's correct institutional base salary 1311 Review proposal budgets for accurate salary requests 1316 Provide reasonable estimates of effort in order to carry out the aims of the proposals and fullfill other University obligations 1316 Provide a minimum of 1% or more in all proposals (unless sponsor policies permit otherwise) Verify available PI effort for project 1316 For 9-month faculty, receive prior approval of the chair and dean/provost in order to earn up to three full summer months of salary on sponsored projects for effort expended on those awards during the summer 1403 Consult with GCA regarding the appropriateness of including administrative and clerical salaires and other departmental expenses in proposals Central

5 Roles Department/School Business Internal Controller's Clinical Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office Request cost sharing funds according to Institution policy. Request matching funds or identify in-kind contributions according to Institution policy 1308 Identify and evaluate issues related to program income 1308 Verify that budget items are in accordance with OMB Circular A-21 (which also includes cost accounting standards) 1308 Select the appropriate facilities and administrative rate and fringe benefit rate 1308 Request a facilities and administrative cost waiver, if appropriate 1308 Approve a facilities and administrative cost waiver, if appropriate 1308 Review proposal for anticipated program income Central 1308 Contact sponsor to discuss anticipated program income, if necessary 1308 Determine use of reportable program income 1308 Provide institutional oversight to record and report program income 1308 Verify that program income is recorded correctly 1308 Make decisions about how to handle situations when total program income offset is greater than total expenditures 1308 Determine whether program income is reportable or nonreportable 1308 Report program income to sponsor in financial reports 1308 Identify sources of actual and potential program income at the proposal stage 1308 Complete required program income sections in grant proposal, as necessary 1308 Develop plan for using program income 1308 Discuss anticipated program income with the department administrator 1308 Address account balance issues at final project termination 1308 Assist PI in calculation prices 1308 Bill for products or services which produce program income 1308 Reconcile revenue invoiced or submitted against financial reports

6 Roles Department/School Business Internal Controller's Clinical Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office 1308 Monitor levels of Program income in account and any limits that are set by the sponsor 1308 Properly deposit income received in accordance with the University's revenue policy 1308 Monitor expenditure levels in project to ensure that program income is spent first Central 1308 Reconcile revenue invoiced or submitted against financial reports

7 UNIVERSITY RESEARCH ADMINISTRATION Roles Department/School Business Internal Controller's Clinical Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office III. PROPOSAL REVIEW, APPROVAL AND PROCESSING 1311 Review and approve proposals (including budgets) requesting funding from external sponsors Central Review proposals to ensure that they are consistent with the Institution mission/policies 1316 Review proposed sponsored activity to assure other activities required of faculty member will not conflict with proposed effort commitment Review and accept proposals with special requests (e.g., multiple departments) Approve request for additional space or modifications or renovations to existing space Approve technical proposal Approve proposal budget and its justification 1316 Approve department funds to be used for matching funds, mandatory cost sharing and voluntary cost sharing 1316 Approve Dean's funds to be used for matching funds, mandatory cost sharing and voluntary cost sharing Confirm that matching funds and cost sharing are documented and approved Oversee (with respect to assurance) that budget items are in accordance with A-21 and the cost accounting standards Review proposals to ensure that they commit an appropriate level of Institution resources 1310 Ensure all eligibility approvals are in place for Ps, co-pis or prgram directors Ensure that proposals comply with the policies and procedures of the sponsor 1310 Approve proposals as appropriate prior to submission to Preaward Evaluate requests for F&A rate reductions or waivers Approve F&A rate and waiver (if necessary) Check the final application for completeness 1316 Ensure proposals submitted to sponsors are reviewed in accordance with University and sponsor requirements Sign as the Institutional Official on behalf of the institution assuring institutional oversight Mail/submit the proposal to sponsor IV. AWARD ACCEPTANCE AND ESTABLISH ACCOUNT Preaward

8 Roles Department/School Business Internal Controller's Clinical Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office Central Request preaward accounts, if necessary Approve commitment of department funds if project not funded Approve and establish pre-award account

9 Roles Department/School Business Internal Controller's Clinical Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office Central Negotiation Negotiate and approve the project scope Request subcontract Develop and negotiate subcontracts in response to PI request Negotiate, approve, and notify the PI of the project terms and conditions Notify the appropriate regulatory office if changes to project scope will affect approved protocols Acceptance and Set-Up Receive the Notice of Grant Award Evaluate whether award is a gift or grant Review the Notice of Grant Award 1403 Interpret sponsored projects terms and conditions with respect to the appropriateness of direct charging administrative or clerical salaries and other departmental types of costs Accept the agreement on behalf of the Institution Notify the PI that the award has been received and send copy of the Notice of Grant Award to the PI and Unit Business Administrator and School Administrator as appropriate Establish the project account and cost sharing account if necessary in the financial system and notify the PI and Business Office 1316 Review awards to ensure that appropriate cost sharing accounts are created for both mandatory and voluntary committed cost sharing Key in the budget into the system Track award data V. FINANCIAL MANAGEMENT OF AWARDS Budget and Cash Management Establish appropriate security in general ledger Initiate non-salary purchases Prepare single source justification for purchases, if necessary Set up payroll on grants

10 UNIVERSITY RESEARCH ADMINISTRATION Roles Department/School Business Internal Controller's Clinical Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office 1311 Ensure that entries into Labor Distrubution are correct based on an individual's institutional base salary 1316 Ensure that sponsor imposed salary caps are calculated correctly and salaries are recorded properly in a cost sharing account 1316 Provide PIs with salary distribution and effort commitment information to facilitate charging instructions for sponsored projects Central 1403 Assist departments in determining appropriate treatment of direct vs. F&A types of costs 1405 Assist the PI in reviewing the terms and conditions of the sponsored agreement and University policy to determine if an expense is specifically prohibited from being charged to the award Verify that expenditures meet A-21 requirements at the time they are requested Perform periodic review of grant transactions for appropriateness and adherence to federal, state and local regulations Establish policy and procedures that ensure the accuracy and timeliness of all financial transactions posting to the general ledger Initiate request for rebudgeting and prepare documentation Review rebudgeting requests and either approve them or return them for issue resolution 4209 Maintain responsibility for all equipment purchased 4209 Ascertain that the sale, transfer or release of equipment is satisfactory to the school or department 4209 Report all changes in status of equipment to GCFA 4209 Determine the rights of any sponsor with regard to equipment 4209 Determine that the title of equipment rests with the University 4209 Determine limitations upon the University's right to dispose of the equipment 4209 Execute the instrument of transfer of title (not involving a sale) of equipment to other institutions 4209 Maintain a Moveable Equipment Inventory (MEI) which lists all equipment by department 4209 Conduct a complete equipment inventory every two years 4209 Approve the sale of transfer of equipment to other Institutions

11 UNIVERSITY RESEARCH ADMINISTRATION Roles Department/School Business Internal Controller's Clinical Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office Receive subcontractor invoices Approve that work was done by subcontractor Approve and process payment of subcontractor invoices Ensure that A-133 reports are received from sub-recipients Approve or recommend approval of carry forward of unexpended funds for specific awards Central Initiate the process of documenting cost sharing and/or matching Report cost sharing on sponsored awards Provide institutional oversight related to documenting cost sharing and/or matching 1305 Approve cost transfer requests for compliance with Institution policy 1305 Provide institutional oversight on cost transfers 1305 Provide guidance in interpretation of federal requirements with respect to cost transfers 1305 Monitor cost transfer activity and review transaction documentation for compliance 1305 Provide training on procedures and certify individuals to prepare and approve cost transfer transactions 1305 Require cost transfers to be reversed if they are unjustified, or are inadequately justifies or documented if appropriate Terminate access to cost transfer transaction processing for individuals with repeated unacceptable, inadequately documented or justified cost transfers if appropriate Resolve questions regarding cost transfers 1305 Communicate with the dept business office to enable charges to be made correctly to the appropriate awards 1305 Review reports of sponsored program expenses regularly to identify errors in a timely manner and communicate required changes to the business office promptly 1305 Request transfers of costs to sponsored projects which represent allocation of expenses or corrections of errors 1305 Provide written authorization for required cost transfers 1305 Maintain queries to be used by departments to monitor award activity 1305 Provide PI with timely monthly financial reports 1305 Assist PI in financial report reviews

12 Roles Department/School Business Internal Controller's Clinical Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office 1305 Ensure costs transfers requested by PI are performed promptly 1305 Advise PI about University policies and procedures, sponsor policies and procedures and regulations regarding the process of cost transfers 1305 Ensure that the preparer and the approver for cost transfers Central is not the same individual Ensure complete justifications of cost transfers Ensure retention of complete documentation of cost transfers Review proposed resolution of overdrafts and either approve them or return them for issue resolution Maintain local oversight for the project budget Review monthly financial reports to ensure compliance with A-21 requirements (allowable, allocable, reasonable) Prepare and submit invoices to sponsors Prepare and process letters of credit draws Prepare and submit billings for clinical trials Reconcile bank accounts where deposits are made and draws are received Receive payments from sponsors and deposit them in Institution accounts Resolve payment problems with late or non-payment by funding agencies

13 UNIVERSITY RESEARCH ADMINISTRATION Roles Department/School Business Internal Controller's Clinical Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office Financial & Management Reporting Provide timely and accurate financial information/reports using the general ledger Use monthly reports for financial monitoring and identify and resolve errors on the account in a timely manner Provide interim financial reports to the sponsor and notify the principal investigator Prepare financial report for submission to sponsor Certify the financial report before submission to sponsor 1301 Ensure compliance with the award budget 1410 Review the rates, revenues and expenses of each SSF and Recharge Center for compliance with federal regulations, and reaonsableness of the fund balance 1410 Determine the treatment of F&A costs and equipment costs for each ISP 1301 Finalize charges with internal service providers and provide new charging instructions for ongoing expenses 1301 Prepare requests for no-cost-extension or carry forward request to sponsor and submit them thru GCA with a copy to GCFA 1301 Assist in resolving collection issues 1301 Clear all custom commitments and all outstanding procurement commitments prior to filing of final financial report 1301 Retain financial records according to the Records Retention 1301 Notify PI and Business Office when award end date is within 60 days Central 1301 Review awards for unallowable costs, overdrafts, and remaining balances 1301 Review facilities and administrative charges 1301 Closes the Oracle project sponsored account once all financial obligations have been satisfied 1301 Remove accounts receivable balances from the general ledger after verification that all cash has been collected or drawn VI. NON-FINANCIAL MANAGEMENT OF AWARDS Scientific/Program Management Conduct the sponsored project Complete and submit timrly interim technical/progress reports

14 UNIVERSITY RESEARCH ADMINISTRATION Roles Department/School Business Internal Controller's Clinical Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office Central Initiate material transfer agreements Review and approve incoming materials transfer agreements Complete the progress report for non-competitive renewals Provide oversight for all research activity Provide local oversight over appointment of individuals to the project Initiate programmatic changes to the project Review programmatic changes to the project Provide institutional endorsement to the sponsor for requests for administrative or programmatic changes initiated by the principal investigator Effort Reporting 1315 Distribute effort reports 1315 Complete effort report 1315 Track current and pending effort commitments 1315 Provide information to facilitate compliance with effort reporting policy 1315 Provide local oversight for effort certification 1315 Collect and maintain official records of effort reporting 1315 Develop and implement activity reporting policies and procedures 1315 Provide guidance in interpretation of federal requirements 1315 Generate activity reports for department administrators to distribute 1315 Monitor compliance with reporting requirements 1315 Provide training on activity reporting policies and procedures Review proposed activity and submit requests for sponsor approval or revisions to effort commitments 1315 Oversee the activity planning, confirmation process, and overall compliance with this policy in his/her department 1315 Oversee distribution of activity reports to faculty and PI; provides information on personnel charged to grants 1315 Advise faculty and staff on activity reporting polices and procedures and how to apply them 1315 Collect certified reports from faculty, PI and others and retain them according to institutional document retention policies.

15 UNIVERSITY RESEARCH ADMINISTRATION Roles Department/School Business Internal Controller's Clinical Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office 1315 Oversee execution of accounting adjustments to ensure federal funds are charged appropriately based on activity 1315 Monitors to ensure minimum mandatory activity requirements are met 1315 Have final responsibility for the financial management of their sponsored projects 1315 Understand and comply with sponsor requirements for notifications regarding changes in personnel and activity 1315 Ensure that commitments of activity for all awarded personnel on federal grants on awards are met within the flexibility allowed in the sponsor's guidelines 1315 Certifies their own effort and certifies staff effort or designates someone with a suitable means of verification that the work was provided to certify staff 1315 Certifies effort in a timely manner 1315 Communicates with project directors on multidisciplinary/multi institutional awards to ensure commitment of activity has been met 1315 Certify personal activity in a timely manner and if designated by PI, certify the activity of their staff personnel 1315 Notify departmental administrators to make accounting adjustments as needed and ensure that minimum mandatory activity requirements are met 1315 Provide notifications of reduction or changes in activity to departmental administrators 1316 Assist PI with the preparation of requests to sponsors regarding the reduction of effort 1316 Review and approve University requests for reducations of effort as required by sponsor terms and conditions 1315 Obtain approval for resulting budgetary changes as needed 1315 Ensure compliance with effort reporting policy VII. AWARD CLOSE-OUT 1301 Notify the PI of the need for completion and submission of the final technical report 1301 Prepare and submit timely final technical/progress reports 1301 Work with units on delinquent reports when notified by agency 1301 Resolve overdrafts 1301 Approve resolution of overdrafts Central

16 Roles Department/School Business Internal Controller's Clinical Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office 1301 Provide information for closing financial reports 1301 Review, certify and accept final financial report 1301 Prepare and approve the final financial report and notify the PI 1301 Request from sponsor that remaining balances be carried forward Central 1301 Provide information on other closing reports, such as for patents and on equipment 1301 Retain the scientific data 1301 Maintain the official Institution record 1301 Resolve issues related to late payment and problems with collection of awarded funds 1301 Review and provide guidance for completion of patent reports

17 Responsibilities Other Development AVP or Office RCC ORA I. GENERAL RESEARCH ADMINISTRATION ACTIVITIES AND S Strategic Direct and guide the Institution's research mission Nurture technology related relationships and partnerships with industry and government. Compliance - General Develop and implement a comprehensive research compliance program Disseminate compliance information and new regulations to the research community Serve as advisor to research administration units on key compliance topics Comply with Institution policies on misconduct in research Comply with federal, state and Institution policies and regulations governing sponsored programs Determine appropriate responses to incidents of noncompliance Act as liaison with federal regulatory agencies during external compliance reviews Serve as expert resources on knowledge of federal and other sponsor regulations Review current practices to identify research compliance risks Communicate and network with peer institutions Monitor federal compliance requirements to develop & implement compliance audit workplans Coordinate the A-133 audit Coordinate all financial audits Coordinate pre-award audits Cost Reimbursement 1410 Prepare and negotiate F&A cost rate proposal Prepare and negotiate fringe benefit rate 1410 Communicate F&A rate to Institution personnel 1410 Calculate Service Center recharge rates 1410 Approve Service Center recharge rates 1410 Review revenue & expenses of each service center for compliance with federal regulations 1410 Conduct audits of service centers for compliance with University

18 Responsibilities Other Development AVP or Office RCC ORA 1410 Monitor Service Center billing activities

19 Responsibilities Other Development AVP or Office RCC ORA Pre-Proposal Support Identify funding opportunities Maintain database of proposal submissions Provide reports to administrators for tracking funding trends Assist with implementation of sponsor electronic grant processing systems II. PROPOSAL DEVELOPMENT AND BUDGETING General 1405 Identify those types of expenses needed to conduct the project as proposed and awarded 1310 Ensure that all proposal submissions to GCA indicate eligible individuals as PI, co-pi or program director and have received the appropriate prior approvals 1310 Verify that all proposal submissions contain an eligible individual as PI, co-pi or program director and ensure that the eligible individual(s) have requisite training, resources, and effort to devote to the sponsored project Verify that there is some level of effort included in proposal per regulations Identify and communicate required training courses for PI 1310 Approve any exceptions to PI eligibility requirements 1403 Provide guidance to PIs and business managers in drafting sponsored project proposals that include administrative or clerical salaries or other departmental expenses required to support the proposed project Provide proposal forms and application materials Ensure that the proposal gets to Preaward by internal deadline Review and agree to proposal or application terms and conditions, as well as agency rules and regulations Confirm that the entire proposal meets administrative requirements outlined in the application instructions Technical Proposal Prepare technical proposal Identify the need for subcontracts Identify and request on- or off-campus space needed in addition to that already assigned to the PI Request modifications or renovations to on-campus space if necessary

20 Responsibilities Other Development AVP or Office RCC ORA Request modifications or renovations to off-campus space if necessary Complete the appropriate forms from the IRB, IACUC, Chemical and Biological Safety Committee, or Radiation Safety Committee, etc. Identify conflicts of interest and commitment and prepare COI disclosures Present proposal for review/approval by appropriate external peer review group Conduct department or administrative unit review of proposal relative to scientific merit, resource utilization or other department-specific concerns Proposal Budget Prepare proposal budget and budget justification commensurate with sponsor and Institution policies 1403 Provide guidance and assistance as needed to PIs and others for proposal and budget preparation 1311 Ensure that salary letters are provided on an annual basis to faculty indicating the approved institutional base salary 1311 Retain copies of appointment and salary letters for audit purposes 1311 Ensure all requests for salary support in sponsored project proposals are based on the individual's correct institutional base salary 1311 Review proposal budgets for accurate salary requests 1316 Provide reasonable estimates of effort in order to carry out the aims of the proposals and fullfill other University obligations 1316 Provide a minimum of 1% or more in all proposals (unless sponsor policies permit otherwise) Verify available PI effort for project 1316 For 9-month faculty, receive prior approval of the chair and dean/provost in order to earn up to three full summer months of salary on sponsored projects for effort expended on those awards during the summer 1403 Consult with GCA regarding the appropriateness of including administrative and clerical salaires and other departmental expenses in proposals

21 Responsibilities Other Development AVP or Office RCC ORA Request cost sharing funds according to Institution policy. Request matching funds or identify in-kind contributions according to Institution policy 1308 Identify and evaluate issues related to program income 1308 Verify that budget items are in accordance with OMB Circular A-21 (which also includes cost accounting standards) 1308 Select the appropriate facilities and administrative rate and fringe benefit rate 1308 Request a facilities and administrative cost waiver, if appropriate 1308 Approve a facilities and administrative cost waiver, if appropriate 1308 Review proposal for anticipated program income 1308 Contact sponsor to discuss anticipated program income, if necessary 1308 Determine use of reportable program income 1308 Provide institutional oversight to record and report program income 1308 Verify that program income is recorded correctly 1308 Make decisions about how to handle situations when total program income offset is greater than total expenditures 1308 Determine whether program income is reportable or nonreportable 1308 Report program income to sponsor in financial reports 1308 Identify sources of actual and potential program income at the proposal stage 1308 Complete required program income sections in grant proposal, as necessary 1308 Develop plan for using program income 1308 Discuss anticipated program income with the department administrator 1308 Address account balance issues at final project termination 1308 Assist PI in calculation prices 1308 Bill for products or services which produce program income 1308 Reconcile revenue invoiced or submitted against financial reports

22 Responsibilities Other Development AVP or Office RCC ORA 1308 Monitor levels of Program income in account and any limits that are set by the sponsor 1308 Properly deposit income received in accordance with the University's revenue policy 1308 Monitor expenditure levels in project to ensure that program income is spent first 1308 Reconcile revenue invoiced or submitted against financial reports

23 Responsibilities Other Development AVP or Office RCC ORA III. PROPOSAL REVIEW, APPROVAL AND PROCESSING 1311 Review and approve proposals (including budgets) requesting funding from external sponsors Review proposals to ensure that they are consistent with the Institution mission/policies 1316 Review proposed sponsored activity to assure other activities required of faculty member will not conflict with proposed effort commitment Review and accept proposals with special requests (e.g., multiple departments) Approve request for additional space or modifications or renovations to existing space Approve technical proposal Approve proposal budget and its justification 1316 Approve department funds to be used for matching funds, mandatory cost sharing and voluntary cost sharing 1316 Approve Dean's funds to be used for matching funds, mandatory cost sharing and voluntary cost sharing Confirm that matching funds and cost sharing are documented and approved Oversee (with respect to assurance) that budget items are in accordance with A-21 and the cost accounting standards Review proposals to ensure that they commit an appropriate level of Institution resources 1310 Ensure all eligibility approvals are in place for Ps, co-pis or prgram directors Ensure that proposals comply with the policies and procedures of the sponsor 1310 Approve proposals as appropriate prior to submission to Preaward Evaluate requests for F&A rate reductions or waivers Approve F&A rate and waiver (if necessary) Check the final application for completeness 1316 Ensure proposals submitted to sponsors are reviewed in accordance with University and sponsor requirements Sign as the Institutional Official on behalf of the institution assuring institutional oversight Mail/submit the proposal to sponsor IV. AWARD ACCEPTANCE AND ESTABLISH ACCOUNT Preaward

24 Responsibilities Request preaward accounts, if necessary Approve commitment of department funds if project not funded Approve and establish pre-award account Other Development AVP or Office RCC ORA

25 Responsibilities Other Development AVP or Office RCC ORA Negotiation Negotiate and approve the project scope Request subcontract Develop and negotiate subcontracts in response to PI request Negotiate, approve, and notify the PI of the project terms and conditions Notify the appropriate regulatory office if changes to project scope will affect approved protocols Acceptance and Set-Up Receive the Notice of Grant Award Evaluate whether award is a gift or grant Review the Notice of Grant Award 1403 Interpret sponsored projects terms and conditions with respect to the appropriateness of direct charging administrative or clerical salaries and other departmental types of costs Accept the agreement on behalf of the Institution Notify the PI that the award has been received and send copy of the Notice of Grant Award to the PI and Unit Business Administrator and School Administrator as appropriate Establish the project account and cost sharing account if necessary in the financial system and notify the PI and Business Office 1316 Review awards to ensure that appropriate cost sharing accounts are created for both mandatory and voluntary committed cost sharing Key in the budget into the system Track award data V. FINANCIAL MANAGEMENT OF AWARDS Budget and Cash Management Establish appropriate security in general ledger Initiate non-salary purchases Prepare single source justification for purchases, if necessary Set up payroll on grants

26 Responsibilities Other Development AVP or Office RCC ORA 1311 Ensure that entries into Labor Distrubution are correct based on an individual's institutional base salary 1316 Ensure that sponsor imposed salary caps are calculated correctly and salaries are recorded properly in a cost sharing account 1316 Provide PIs with salary distribution and effort commitment information to facilitate charging instructions for sponsored projects 1403 Assist departments in determining appropriate treatment of direct vs. F&A types of costs 1405 Assist the PI in reviewing the terms and conditions of the sponsored agreement and University policy to determine if an expense is specifically prohibited from being charged to the award Verify that expenditures meet A-21 requirements at the time they are requested Perform periodic review of grant transactions for appropriateness and adherence to federal, state and local regulations Establish policy and procedures that ensure the accuracy and timeliness of all financial transactions posting to the general ledger Initiate request for rebudgeting and prepare documentation Review rebudgeting requests and either approve them or return them for issue resolution 4209 Maintain responsibility for all equipment purchased 4209 Ascertain that the sale, transfer or release of equipment is satisfactory to the school or department 4209 Report all changes in status of equipment to GCFA 4209 Determine the rights of any sponsor with regard to equipment 4209 Determine that the title of equipment rests with the University 4209 Determine limitations upon the University's right to dispose of the equipment 4209 Execute the instrument of transfer of title (not involving a sale) of equipment to other institutions 4209 Maintain a Moveable Equipment Inventory (MEI) which lists all equipment by department 4209 Conduct a complete equipment inventory every two years 4209 Approve the sale of transfer of equipment to other Institutions

27 Responsibilities Other Development AVP or Office RCC ORA Receive subcontractor invoices Approve that work was done by subcontractor Approve and process payment of subcontractor invoices Ensure that A-133 reports are received from sub-recipients Approve or recommend approval of carry forward of unexpended funds for specific awards Initiate the process of documenting cost sharing and/or matching Report cost sharing on sponsored awards Provide institutional oversight related to documenting cost sharing and/or matching 1305 Approve cost transfer requests for compliance with Institution policy 1305 Provide institutional oversight on cost transfers 1305 Provide guidance in interpretation of federal requirements with respect to cost transfers 1305 Monitor cost transfer activity and review transaction documentation for compliance 1305 Provide training on procedures and certify individuals to prepare and approve cost transfer transactions 1305 Require cost transfers to be reversed if they are unjustified, or are inadequately justifies or documented if appropriate Terminate access to cost transfer transaction processing for individuals with repeated unacceptable, inadequately documented or justified cost transfers if appropriate Resolve questions regarding cost transfers 1305 Communicate with the dept business office to enable charges to be made correctly to the appropriate awards 1305 Review reports of sponsored program expenses regularly to identify errors in a timely manner and communicate required changes to the business office promptly 1305 Request transfers of costs to sponsored projects which represent allocation of expenses or corrections of errors 1305 Provide written authorization for required cost transfers 1305 Maintain queries to be used by departments to monitor award activity 1305 Provide PI with timely monthly financial reports 1305 Assist PI in financial report reviews

28 Responsibilities Other Development AVP or Office RCC ORA 1305 Ensure costs transfers requested by PI are performed promptly 1305 Advise PI about University policies and procedures, sponsor policies and procedures and regulations regarding the process of cost transfers 1305 Ensure that the preparer and the approver for cost transfers is not the same individual 1305 Ensure complete justifications of cost transfers 1305 Ensure retention of complete documentation of cost transfers Review proposed resolution of overdrafts and either approve them or return them for issue resolution Maintain local oversight for the project budget Review monthly financial reports to ensure compliance with A-21 requirements (allowable, allocable, reasonable) Prepare and submit invoices to sponsors Prepare and process letters of credit draws Prepare and submit billings for clinical trials Reconcile bank accounts where deposits are made and draws are received Receive payments from sponsors and deposit them in Institution accounts Resolve payment problems with late or non-payment by funding agencies

29 Responsibilities Other Development AVP or Office RCC ORA Financial & Management Reporting Provide timely and accurate financial information/reports using the general ledger Use monthly reports for financial monitoring and identify and resolve errors on the account in a timely manner Provide interim financial reports to the sponsor and notify the principal investigator Prepare financial report for submission to sponsor Certify the financial report before submission to sponsor 1301 Ensure compliance with the award budget 1410 Review the rates, revenues and expenses of each SSF and Recharge Center for compliance with federal regulations, and reaonsableness of the fund balance 1410 Determine the treatment of F&A costs and equipment costs for each ISP 1301 Finalize charges with internal service providers and provide new charging instructions for ongoing expenses 1301 Prepare requests for no-cost-extension or carry forward request to sponsor and submit them thru GCA with a copy to GCFA 1301 Assist in resolving collection issues 1301 Clear all custom commitments and all outstanding procurement commitments prior to filing of final financial report 1301 Retain financial records according to the Records Retention 1301 Notify PI and Business Office when award end date is within 60 days 1301 Review awards for unallowable costs, overdrafts, and remaining balances 1301 Review facilities and administrative charges 1301 Closes the Oracle project sponsored account once all financial obligations have been satisfied 1301 Remove accounts receivable balances from the general ledger after verification that all cash has been collected or drawn VI. NON-FINANCIAL MANAGEMENT OF AWARDS Scientific/Program Management Conduct the sponsored project Complete and submit timrly interim technical/progress reports

30 Responsibilities Other Development AVP or Office RCC ORA Initiate material transfer agreements Review and approve incoming materials transfer agreements Complete the progress report for non-competitive renewals Provide oversight for all research activity Provide local oversight over appointment of individuals to the project Initiate programmatic changes to the project Review programmatic changes to the project Provide institutional endorsement to the sponsor for requests for administrative or programmatic changes initiated by the principal investigator Effort Reporting 1315 Distribute effort reports 1315 Complete effort report 1315 Track current and pending effort commitments 1315 Provide information to facilitate compliance with effort reporting policy 1315 Provide local oversight for effort certification 1315 Collect and maintain official records of effort reporting 1315 Develop and implement activity reporting policies and procedures 1315 Provide guidance in interpretation of federal requirements 1315 Generate activity reports for department administrators to distribute 1315 Monitor compliance with reporting requirements 1315 Provide training on activity reporting policies and procedures Review proposed activity and submit requests for sponsor approval or revisions to effort commitments 1315 Oversee the activity planning, confirmation process, and overall compliance with this policy in his/her department 1315 Oversee distribution of activity reports to faculty and PI; provides information on personnel charged to grants 1315 Advise faculty and staff on activity reporting polices and procedures and how to apply them 1315 Collect certified reports from faculty, PI and others and retain them according to institutional document retention policies.

31 Responsibilities Other Development AVP or Office RCC ORA 1315 Oversee execution of accounting adjustments to ensure federal funds are charged appropriately based on activity 1315 Monitors to ensure minimum mandatory activity requirements are met 1315 Have final responsibility for the financial management of their sponsored projects 1315 Understand and comply with sponsor requirements for notifications regarding changes in personnel and activity 1315 Ensure that commitments of activity for all awarded personnel on federal grants on awards are met within the flexibility allowed in the sponsor's guidelines 1315 Certifies their own effort and certifies staff effort or designates someone with a suitable means of verification that the work was provided to certify staff 1315 Certifies effort in a timely manner 1315 Communicates with project directors on multidisciplinary/multi institutional awards to ensure commitment of activity has been met 1315 Certify personal activity in a timely manner and if designated by PI, certify the activity of their staff personnel 1315 Notify departmental administrators to make accounting adjustments as needed and ensure that minimum mandatory activity requirements are met 1315 Provide notifications of reduction or changes in activity to departmental administrators 1316 Assist PI with the preparation of requests to sponsors regarding the reduction of effort 1316 Review and approve University requests for reducations of effort as required by sponsor terms and conditions 1315 Obtain approval for resulting budgetary changes as needed 1315 Ensure compliance with effort reporting policy VII. AWARD CLOSE-OUT 1301 Notify the PI of the need for completion and submission of the final technical report 1301 Prepare and submit timely final technical/progress reports 1301 Work with units on delinquent reports when notified by agency 1301 Resolve overdrafts 1301 Approve resolution of overdrafts

32 Responsibilities Other Development AVP or Office RCC ORA 1301 Provide information for closing financial reports 1301 Review, certify and accept final financial report 1301 Prepare and approve the final financial report and notify the PI 1301 Request from sponsor that remaining balances be carried forward 1301 Provide information on other closing reports, such as for patents and on equipment 1301 Retain the scientific data 1301 Maintain the official Institution record 1301 Resolve issues related to late payment and problems with collection of awarded funds 1301 Review and provide guidance for completion of patent reports

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